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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

ALEXANDER GEORGE MOODY

Advisor at LPL FINANCIAL LLC

SALEM, MA

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Search this name across graphsid dfx:ria:dafe7935-5bf5-c8b5-9eb2-fb0de9812234

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 21, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 21, 2007
First registration: Sep 6, 2013
Dual registered: yes, broker-dealer
Other names: ALEX MOODY
IAPD individual key: 5434457

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 16, 2023	n/a	yes	SALEM, MA	Current employment
PEOPLE'S UNITED ADVISORS, INC.	Former SEC adviser	Jun 13, 2018	Sep 2, 2022	no	Boston, MA\|Beverly, MA	Previous registration
PEOPLE'S SECURITIES, INC.	Former SEC adviser	Jun 7, 2016	Mar 31, 2020	no	BRIDGEPORT, CT\|Boston, MA\|Beverly, MA	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Sep 6, 2013	Dec 15, 2015	no	BOSTON, MA\|NEW YORK, NY\|BURLINGTON, MA\|BOSTON, MA\|BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PEOPLE'S UNITED ADVISORS, INC.	LPL FINANCIAL LLC	Sep 2, 2022	Jun 16, 2023	287	Firm change	RIA to ibd
PEOPLE'S SECURITIES, INC.	PEOPLE'S UNITED ADVISORS, INC.	Mar 31, 2020	Jun 13, 2018	-657	Bulk transfer	Other
TD PRIVATE CLIENT WEALTH LLC	PEOPLE'S SECURITIES, INC.	Dec 15, 2015	Jun 7, 2016	175	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 16, 2023 to presentfactForm ADV
→ PEOPLE'S UNITED ADVISORS, INC.Registered adviserregistration: previous registration
Jun 13, 2018 to Sep 2, 2022factForm ADV
→ PEOPLE'S SECURITIES, INC.Registered adviserregistration: previous registration
Jun 7, 2016 to Mar 31, 2020factForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Sep 6, 2013 to Dec 15, 2015factForm ADV

Dated events

Occurred
Sep 2, 2022
Advisor changed firm
Alexander George Moody left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2023-06-16)
Form ADVobserved 6 days ago